Senior Auditor - Financial Crimes Audit

$84,000 - $149,400/Yr

Wells Fargo - Charlotte, NC

Full-time - Mid Level

Charlotte, NC

Credit Intermediation and Related Activities

About the position

Wells Fargo is seeking a Senior Auditor on the Financial Crimes Audit Team (FiCAT) to provide horizontal audit coverage of financial crimes risk across various lines of business. The role involves overseeing and executing BSA/AML/OFAC related audits, evaluating internal controls, and testing governance related to Anti-Bribery and Corruption regulations. The Senior Auditor will play a critical role in ensuring compliance and effectiveness of financial crime risk management processes.

Responsibilities

• Perform audit testing components of assigned audits within multiple segments of the Audit Plan
• Plan and execute independent audit testing and ensure that they are timely and accurate
• Identify and assess key risks and controls
• Execute and document work in accordance with Internal Audit policy
• Identify and develop compensating controls that mitigate audit findings and make recommendations to management
• Inform manager of situational issues that might compromise objectivity or independence
• Design and execute tests to verify control effectiveness
• Document work papers according to the standards of the Internal Audit policy and guidance
• Demonstrate professional skepticism while performing major components of audits
• Lead smaller scale audits or projects
• Develop ways to improve existing audit practices
• Develop effective test plans for engagements as assigned with limited guidance
• Participate in projects as directed
• Develop business partnerships within Internal Audit and with teams companywide through professional communication and clear audit deliverables

Requirements

• 4+ years of Audit, Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Experience at a financial institution or accounting firm
• A BS/BA degree or higher
• Solid knowledge and understanding of audit or risk methodologies and supporting tools
• Certification in one or more of the following: CPA, CAMS, CRCM, CIA, CISA or Commissioned Bank Examiner designation
• Excellent verbal, written, and interpersonal communication skills
• Experience in Bank Secrecy Act and Anti-Money Laundering (BSA/AML), International, Sanctions regulations and/or financial crimes risk.

Benefits

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement